Performance Appraisal Handbook - United States Department of the Interior

"Working Smarter for America"

The Department of the Interior's

Performance Appraisal Handbook

A Guide for Managers/Supervisors and Employees

Office of the Secretary Office of Human Resources 10/4/04 #370DM430HB-1 (Revised 10-2016) Replaces 11/1/95 FPM-418

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Table of Contents

Timeline for the Performance Appraisal Process ......................................................................... 3 Introduction ................................................................................................................................... 4 Section 1- PLANNING ................................................................................................................. 5

Developing Employee Performance Appraisal Plans (EPAP) ............................................... 5 Elements................................................................................................................................. 5 Standards (Benchmark Performance Standards) .................................................................. 6 Employee Participation......................................................................................................... 10 Documenting Elements and Standards................................................................................ 10 Section 2 ? MONITORING ........................................................................................................ 10 Feedback during the Performance Year .............................................................................. 10 Progress Reviews ................................................................................................................ 10 Section 3 ? DEVELOPING EMPLOYEES................................................................................. 12 Formal Development ............................................................................................................ 12 Informal Development .......................................................................................................... 13 Section 4 ? RATING .................................................................................................................. 14 Eligibility................................................................................................................................ 14 Interim Appraisals................................................................................................................. 14 Rating Critical Elements ....................................................................................................... 14 Rating of Record .................................................................................................................. 15 Discussion with Employee.................................................................................................... 15 Reconsideration Process ..................................................................................................... 16 Section 5 ? ACTIONS BASED ON PERFORMANCE .............................................................. 18 Rewarding Performance....................................................................................................... 18 Links to Other Personnel Actions ......................................................................................... 18 Dealing with Poor Performance............................................................................................ 19

APPENDIX 1 ? GPRA Examples for Individual Bureaus/Offices

APPENDIX 2 ? Developing Performance Standards

APPENDIX 3 ? A Supervisor's Guide on How to get the Most out of Performance Appraisals

APPENDIX 4 ? An Employee Guide on How to get the Most out of Performance Appraisals

APPENDIX 5 ? Supervisor's Guide to Developing Individual Development Plans Sample Individual Development Plan

APPENDIX 6 ? Checklists for Dealing with Poor Performance

APPENDIX 7 ? Frequently Asked Questions

APPENDIX 8 ? EPAP Forms Employee EPAP Supervisory Employee EPAP

10/4/04 #370DM430HB-1 (Revised 10-2016) Replaces 11/1/95 FPM-418

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Timeline for the Performance Appraisal System 5-Level Performance System

Or as otherwise approved by the DOI Office of Human Resources

Or 30 days after the end of the Performance Appraisal Period

Or 60 calendar days from beginning of appraisal cycle

October 1 to September 30

October 1 to 31

October 1 to November 30

Or approximately midway through Performance Appraisal period

90 Calendar Days

March through May

As Required

10/4/04 #370DM430HB-1 (Revised 10-2016) Replaces 11/1/95 FPM-418

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Appraisal Period ? The appraisal period coincides with the fiscal year, October 1 to September 30.

Complete the performance appraisal for prior fiscal year that ended on September 30.

Deadline to finalize performance standards ? Timeframe in which performance standards are finalized and approved. 60 days is the time a rating official should have issued to employee elements and standards, i.e., establish an Employee Performance Appraisal Plan (EPAP).

Minimum Appraisal Period ? The length of time, 90 calendar days, that the employee must be performing under an approved EPAP in a given position in order to be eligible for an interim or annual rating.

Progress Review ? Discussion with the employee at least once during the appraisal period to review the employee's progress and communicate performance as compared to the established standards; to make any recommended revisions to critical elements/performance standards; and to consider/identify any developmental needs or performance improvement required.

Interim Appraisal ? Required when an employee has worked under standards in the position for 90 days and if one or more of the following occurs: Employee changes position (i.e., reassignment, promotion, change to lower grade, transfer), completes a temporary assignment of 120 days or more (i.e., detail, temporary promotion, etc.), the rating official leaves a supervisory position, or to document a level of competence determination for withingrade increase purposes when the employee's most recent rating of record is not consistent with the level of competence determination.

INTRODUCTION

Managing employee performance is an integral part of the work that all managers and rating officials perform throughout the year. It is as important as managing financial resources and program outcomes because employee performance or the lack thereof, has a profound effect on both the financial and program components of any organization.

The Department of the Interior's performance management policy is designed to document the expectations of individual and organizational performance, provide a meaningful process by which employees can be rewarded for noteworthy contributions to the organization, and provide a mechanism to improve individual/organizational performance as necessary.

This handbook is designed for Department of the Interior rating officials and employees to assist with the management of employee performance that is aligned with and supports organizational goals. It is divided into five areas coinciding with OPM's definition, with the final section expanded to include taking other actions based on performance including dealing with poor performance.

To accomplish these objectives, managers need to identify organizational goals to be accomplished, communicate individual and organizational goals to employees that support the overall strategic mission and/or Government Performance and Results Act (GPRA) goals of the Department of the Interior, monitor and evaluate employee performance, and use performance as a basis for appropriate personnel actions, including rewarding noteworthy performance and taking action to improve less than successful performance.

The Office of Personnel Management defines performance management as the systematic process of: planning work and setting expectations continually monitoring performance developing the capacity to perform periodically rating performance in a summary fashion; and rewarding good performance 10/4/04 #370DM430HB-1 (Revised 10-2016) Replaces 11/1/95 FPM-418

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SECTION 1 - PLANNING

ELEMENTS The Department's policy outlines that employees may have a minimum of one and

not more than five elements in their appraisal

In an effective organization, work is planned in

plans, all of which will be considered critical.

advance. This includes setting performance

Through these elements, employees are held

expectations and goals for individuals in order to

accountable as individuals for work assignments

channel efforts toward achieving organizational

and responsibilities of

objectives. Involving

Performance elements tell employees what

their position. A Critical

employees in the planning they have to do and standards tell them how Element is an assignment

process is essential to their well they have to do it.

or responsibility of such

understanding of the goals

importance that

of the organization, what needs to be done, why

Unsatisfactory performance in that element alone

it needs to be done, and expectations for

would result in a determination that the

accomplishing goals.

employee's overall performance is

Unsatisfactory. As defined by law, failure on one

DEVELOPING EMPLOYEE PERFORMANCE

or more Critical Elements can result in the

APPRAISAL PLANS (EPAP) The regulatory

employee's reassignment, removal, or reduction

requirements for planning an employee's

in grade. Consequently, Critical Elements must

performance include establishing the elements

describe work assignments and responsibilities

and standards in their EPAP. An EPAP outlines

that are significantly influenced by an employee's

the specific elements and standards that the

work effort and within the employee's control.

employee is expected to accomplish during the

For most employees this means that Critical

rating cycle. Performance elements and

Elements cannot describe a group's

standards should be strategically linked, results

performance. However, a supervisor or manager

focused, measurable, understandable, verifiable,

can and should be held accountable for seeing

equitable, achievable, and provide for meaningful

that results measured at the group or team level

distinctions between levels of performance. In

are achieved. Critical Elements assessing group

addition, EPAPs should be flexible so that they

performance may be appropriate to include in the

can be adjusted for changing program objectives

EPAP of a supervisor, manager, or team leader

and work requirements. When used effectively,

who can reasonably be expected to command

these plans can be beneficial working documents

the production and resources necessary to

that are discussed often, and not merely

achieve the results (i.e., held individually

paperwork that is filed in a drawer and seen only

accountable).

when ratings of record are required.

ENSURING EMPLOYEES UNDERSTAND THE PERFORMANCE APPRAISAL SYSTEM Supervisors need to ensure that their employees have a good basic understanding of the Performance Appraisal System. A tool that explains the system, Understanding Performance Management, has been developed for that purpose and is provided as an attachment to the EPAP forms (DI-3100S updated October 2016 and DI-3100 updated September 2012). Supervisors must provide that instructional tool to their employees and have them sign block A-3 on the cover page of the EPAP form when the performance plan is established to document receipt.

Supervisors and managers may use several documents and/or sources to assist them in determining the appropriate Critical Elements for their employees. These include but are not limited to:

Goals and objectives as outlined in the Department's strategic plan

Specific performance goals established for a given program area as outlined in the Department's annual performance plan

Bureau/Office specific program goals and objectives

Functional area/organizational goals and objectives

Other internal management policy/direction Laws and/or regulatory requirements Customer/stakeholder feedback Employee input Employee position descriptions

10/4/04 #370DM430HB-1 (Revised 10-2016) Replaces 11/1/95 FPM-418

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